RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
W•••••• A• R•••
- M••••• S•••••• wirehouse currentsince Dec 6, 2022 · Utica, Ny
- S•••••••• F•••••••• S••••••• independent RIASep 8, 2021 to Oct 21, 2022 · Utica, Ny
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• formerOct 28, 2013 to Nov 10, 2017 · Boston, Ma
- E••••• J•••• national BDAug 20, 2012 to Oct 11, 2013 · Tempe, Az
- S•••••••• F•••••••• S••••••• to M••••• S••••••left Oct 21, 2022, registered Dec 6, 2022 (46 days) · RIA to wirehouse
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• to S•••••••• F•••••••• S•••••••left Nov 10, 2017, registered Sep 8, 2021 (1398 days) · Other
- E••••• J•••• to A••••• P•••••• I••••••••• A•••• M••••••••• I•••left Oct 11, 2013, registered Oct 28, 2013 (17 days) · Other
- W•••••• A• R••• left S•••••••• F•••••••• S••••••• for M••••• S•••••• (registered 2022-12-06)Oct 21, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address